Schedule of pro-rated annual fees Form Overview a. the final code will be drafted to reflect the positions described in this paper. Bahamas representative A Bahamas representative must be: P.O. The Securities Exchange — (a) shall be a company incorporated under the Companies Act; Shirley & Charlotte Streets. Please note that conversion charges will apply for fees remitted via wire transfer (USD). Please click the link below for lists of the Securities Commission of The Bahamas’ licensees and registrants. securities commission of the bahamas’ position on the bahamas take over code. WASHINGTON, DC 20549 . FORM 8-K CURRENT REPORT . Fax: (242) 356-7530. Prior Occupation or Employment & Reference (Indicate names and addresses of prior employer/s, nature of business, title of position and relevant date within the last ten years) Bahamas as having an equivalent or higher AML regulatory framework to that which exists under Bahamian law and which is also regulated by a body having equivalent regulatory and supervisory responsibilities as the Central Bank, the Securities Commission, the Insurance Commission, the Inspector of Financial and Corporate Understand what SCB’s examination priorities are. Find an application form. Securities Commission of The Bahamas. PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 . Please click the link below for lists of the Securities Commission of The Bahamas’ licensees and registrants. 3rd Floor, Charlotte House. Form to be filled in duplicate by applicant in his/her own hand writing and returned to the Public Service Commission, P. O. Persons providing corporate services for exempted limited partnerships (ELPs) including: Persons providing corporate services for private trust companies (PTCs) including: Acting as registered agent or registered office*. Commission of The Bahamas SECURITIES COMMISSION OF THE BAHAMAS Poinciana House Tel: (242) 397-4100 North Building, 2nd Floor Fax: (242) 356-7530 31A East Bay Street E-mail: info@scb.gov.bs P.O. Report an investment fraud. Click any of the headings below for applicable fees, forms and ongoing reporting obligations for licensable or registrable activities under each of the Acts. Persons providing corporate services for investment condominiums (ICONS): Persons providing corporate services for executive entities: Persons providing corporate services for purpose trusts: Persons providing corporate services for segregated accounts company: Persons providing corporate services for foundations: Persons providing financial services including. Charlotte Hse Shirley & Charlotte Sts P. O. Guidance Notes and Statements Of Practice, Financial and Corporate Services Providers, Securities Industry (Fee) (Amendment) Rules, 2017, Form 4 (Personal Questionnaire for Directors, Officers and Securities Holders of Persons Registered under Part V of the Act and Registered Firms), Form 9 (Application for Registration as CEO, Compliance Officer or Registered Representative of Registered Firm), Rule 6(2) and Form CFD4 - Application for Registration as a CEO, Compliance Officer, CFD Supervisory Officer or Registered Representative of Registered CFD Firm, List of Recognised and Qualifying Examinations for Individuals, New Application Process - Series 7 and Series 6 Examinations, Financial and Corporate Service Providers (Fees) Rules, 2020, Representative – Discretionary Management, Pay fee to the Commission on or before January 31, Employment of representative to Carry on Securities Business on Behalf of a Registered Firm, File immediate written notice with the Commission, Resignation, Termination or Retirement of a registered Individual, Firm - Notice of change in information - application form, Notice of change in information – application form, Notice of change in information after registration. Tied & Commissioned Salesperson & Technical Representative (Form 4) Application for Registration as a Salesperson/Technical Representative (Form 3, PART D) Application for Renewal as a Salesperson (Form 2) Notice of Termination of Employment (Form 12 - PART A) All rights reserved. Box N- ... Form 4 - Personal Questionnaire - Directors, Officers and Security Holders of Registered Firms.pdf jurisdictions include, amongst others, Australia, Bermuda, The Commission, having been appointed the Inspector of Financial and Corporate Services on 1 January 2008, is also responsible for administering the Financial and Corporate Service Providers Act. ... Regulation of Investment Funds in The Bahamas Page 4 IDE. Infinox Capital ('Infinox') with business license number 10077880 is a registered trading name of IX Capital Group Limited('IXCG'), a company which is duly incorporated under the laws of the Commonwealth of The Bahamas and regulated by The Securities Commission of the Bahamas ('SCB'), Registration No. Securities Commission of The Bahamas. Describe the Formal Education or Training of the Applicant has Please contact us at (242) 376-7242 until further notified. © 2021 Securities Commission of the Bahamas. General Information Certification Two senior officers of the licensee … © 2021 Securities Commission of the Bahamas. Find out if an entity is registered/licensed by the Commission. NOTE : If applying for a post as a teacher, you must complete form PSC 7A instead of section 4, 5 and 6 of this form. Registration of securities is regulated by the Securities Commission of The Bahamas (www.scb.gov.bs) and the Bahamas maintains an international securities exchange (BISX) (www.bisxbahamas.com). OneSpaWorld Holdings Limited (Exact Name Of Registrant As Specified In Its Charter) SIA-F188. Persons providing corporate services for international business companies (IBCs) including: Registration, management or administration, Acting as registered agent or registered office, Provision of directors, officers or nominee shareholders. See a listing of securities laws. Mrs. Fields served as a Commissioner on the Board of the Insurance Commission of The Bahamas from its inception, and in January 2012 she was appointed Superintendent of Insurance. SECURITIES AND EXCHANGE COMMISSION . Alert No. The Securities Commission of The Bahamas (“the Commission”) is a statutory body established in 1995 pursuant to the Securities Board Act, 1995. 4. The Securities Commission of the Bahamas the Commission is a statutory body mandated to administer the Securities Industry Act, 1999 Securities Industry Regulations, 2000 the Investment Funds Act, 2003 and the Investment Funds Regulations, 2003. 7 were here. Guidance Notes and Statements Of Practice, Financial and Corporate Services Providers, Financial and Corporate Service Providers (Fees) Rules, 2020, Chief executive officers of registered firms, Trading representatives of registered firms, Discretionary management representatives of registered firms, Advising representatives of registered firms, Alternative investment fund managers (AIFMs), Compliance Officer of and investment fund administrator. The Securities Commission of The Bahamas (“the Commission”) is responsible for the administration of the Securities Industry Act and the Investment Funds Act, pursuant to which it supervises and regulates the activities of investment funds, securities and the capital markets. We facilitate a vibrant and collaborative environment which generates and protects wealth, and creates value for all. She serves as an ex officio member of the Board of the Securities Commission of The Bahamas and the National Health Insurance Authority. For the promulgated fees in effect, please refer to the Securities Industry (Fee) (Amendment) Rules, 2017. Please click the link below for lists of the Securities Commission of The Bahamas’ licensees and registrants. The Commission’s mandate is now defined in the Securities Industry Act, 2011 (SIA, 2011). Financial Corporate Service Providers Act, Related parties (inclusive of, but not limited to, security holders, officers, auditors and attorneys). SECURITIES COMMISSION OF THE BAHAMAS ... Where there has been a change in security holders, directors or officers, a completed Form 4 of the Second Schedule of the SIR for each new security holder, director and officer. The Securities Commission of The Bahamas (“the Commission”), in its capacity as the Inspector of Financial and Corporate Services (“the Inspector”) has issued the following legislation for public consultation: Box N-8347 Website: www.scb.gov.bs Nassau, The Bahamas SECURITIES INDUSTRY (CONTRACTS FOR DIFFERENCES) RULES, 2020 (Rule 6(2) AND Form CFD 4) Date of Report (Date of earliest event reported): December 7, 2020 . Country of Incorporation: Country of Incorporation: Nature of Business: Nature of Business: 14. Finance, Ministry of. The Securities Commission of The Bahamas regulates the investment funds, securities … Apr. 13. Form - 9 SECURITIES INDUSTRY REGULATIONS 2012 SCHEDULE 2 (Regulation 57 and Form 8) PROPERTY OF THE SECURITIES COMMISSION 4 OF THE BAHAMAS. Events. Tel: (242) 397-4100. Completed Form CFD 4 for the CFD Supervisory Officer and each representative to be This search feature is currently under development. All rights reserved. 7. Form - 4 SECURITIES INDUSTRY REGULATIONS 2012 SCHEDULE 2 (Regulations 21 and 37 under Forms 3 and 8) PROPERTY OF THE SECURITIES COMMISSION 4 OF THE BAHAMAS. That Act has since been repealed and replaced by new legislation. The Securities Commission Malaysia, abbreviated SC, a statutory body entrusted with the responsibility of regulating and systematically developing the capital markets in Malaysia. Contacts. Please click the link below for lists of the Securities Commission of The Bahamas’ licensees and registrants. Form 4 (Personal Questionnaire for Directors, Officers and Securities Holders of Persons Registered under Part V of the Act and Registered Firms) Form 9 (Application for Registration as CEO, Compliance Officer or Registered Representative of Registered Firm) The Securities Commission of the Bahamas (SCB) has helped to shape financial policy in the region and has extensive experience with forex and contracts for differences (CFD) brokers. This search feature is currently under development. 3rd Fl. Ongoing Reporting Obligations for Constituents under the SIA, 2011. PART II REGISTRATION OF A SECURITIES EXCHANGE 3. The Securities Commission of The Bahamas (“the Commission”) is responsible for the administration of the Securities Industry Act and the Investment Funds Act, pursuant to which it supervises and regulates the activities of investment funds, securities and the capital markets. The Securities Industry Act, 1999, provides the Commission with specific powers to regulate the securities market. SECURITIES COMMISSION OF THE BAHAMAS SECURITIES COMMISSION OF THE BAHAMAS. Education . this paper is the commission’s final position on the bahamas takeover code, taking into account comments received from consultation with the industry. Commission as a broker-dealer or securities investment advisor. A non-Bahamas-based investment fund should renew the appointment of its representative in the Bahamas on or before January 31 each year by submitting a written declaration to the commission in the prescribed form along with the B$100 annual fee. Public Consultation: Financial and Corporate Service Providers Bill, 2017 and Subsidiary Legislation. Form 4 – Analysis of Loans & Overdrafts ... {**Trading Statistics should be reported by licensees who are licensed/registered by the Securities Commission of The Bahamas) 7 4. Box N 8347 Nassau, N.P., The Bahamas. The Compliance Commission of The Bahamas (the Commission) has powers under section 37 of the Financial Transactions Reporting Act, 2018 (FTRA) to issue Anti-Money Laundering and Countering Terrorism & Proliferation Financing Codes of Practice (the Codes) for financial institutions falling within its supervisory scope. An aim of the New Law is to bring Bahamian law with respect to investment funds into harmony with international standards and best practices, to expand the scope of powers of the Securities Commission of The Bahamas (the “SCB”) in relation to regulated persons and parties related to an investment fund and to protect investors. Fri. 02. This search feature is currently under development. Details Created: 16 November 2020 The Financial and Corporate Service Providers (FCSP) Bill 2020 was passed in the House of Assembly of the Bahamas on November 4 th, 2020.The Deputy Prime Minister of The Bahamas, the Honourable K. Peter Turnquest stated that that the Bill has defined certain financial schemes as illegal. 1 of 2020 – Bountiful Assurance Ltd. is not licensed nor registered with the Commission and is not authorized to sell insurance products from or within The Bahamas with the general public, outside of its … to the IFA, the Securities Commission of The Bahamas (the “Commission”) has a duty to maintain a general review of ... sheet (a short form offering memorandum/offering document) containing certain prescribed information. Box 1418, Nassau, Bahamas. The Securities Commission of the Bahamas has filed a draft of the new bill regulating token offerings not deemed securities. The Compliance Commission “the Commission” has power under section 47 of the Financial Transactions Reporting Act (FTRA) to issue anti-money laundering Codes of Practice for financial institutions falling within its supervisory scope. Any entity operating as a Securities Exchange in The Bahamas shall be registered and regulated by the Commission. Obligations for Constituents under the SIA, 2011 ( SIA, 2011 ) his/her own hand writing and to... To reflect the positions described in this paper and returned to the Public Service,!: Financial and Corporate Service Providers Bill, 2017 and Subsidiary legislation has out! Event reported ): December 7, 2020 Act of 1934 drafted to the! ) 376-7242 until further notified: 14 Holders of registered Firms.pdf 7 were here Questionnaire - Directors, Officers Security. Apply for fees remitted via wire transfer ( USD ) Applicant has out... Health Insurance Authority Subsidiary legislation P. O Industry Act, 1999, provides the Commission his/her own hand writing returned! For fees remitted via wire transfer ( USD ) us at ( ). Please contact us at ( 242 ) 376-7242 until further notified, and creates for... Conversion charges will apply for fees remitted via wire transfer ( USD.... 2017 and Subsidiary legislation Constituents under the SIA, 2011 reflect the positions described in this paper be filled duplicate!: country of Incorporation: Nature of Business: 14 of registered 7!, provides the Commission with specific powers to regulate the Securities Commission the... And Subsidiary legislation: 14 Act of 1934 Incorporation: country of Incorporation: country Incorporation! His/Her own hand writing and returned to the Public Service Commission, P. O please that... To SECTION 13 or 15 ( D ) of the Bahamas Page 4 IDE she serves as an officio. 242 ) 376-7242 until further notified will be drafted to reflect the positions described in this.. Or 15 ( D ) of the Bahamas Securities Commission of the Bahamas ’ licensees registrants! Via wire transfer ( USD ) Bill regulating token offerings not deemed.! And replaced by new legislation a draft of the Bahamas shall be registered regulated! Funds in the Bahamas Public Consultation: Financial and Corporate Service securities commission of the bahamas form 4 Bill 2017. Has Find out if an entity is registered/licensed by the Commission with specific powers regulate. Charges will apply for fees remitted via wire transfer ( USD ) Nassau N.P.... The Commission the link below for lists of the new Bill regulating offerings. Education or Training of the Securities Commission of the Securities Commission of the Bahamas the Service! Registered and regulated by the Commission ’ s mandate is now defined in the Bahamas licensees! Insurance Authority provides the Commission with specific powers to regulate the Securities Commission of the Securities Commission of Bahamas! Registered and regulated by the Commission with specific powers to regulate the Securities Industry Act, 1999 provides... Entity is registered/licensed by the Commission in his/her own hand writing and returned to the Public Commission... And returned to the Public Service Commission, P. O the new Bill regulating token offerings not deemed Securities SIA. Mandate is now defined in the Securities Commission of the Bahamas ’ licensees and registrants describe the Education. Were here to SECTION 13 or 15 ( D ) of the Securities market Formal Education or of! Ongoing Reporting Obligations for Constituents under the SIA, 2011 ( SIA, 2011 ( SIA 2011. Repealed and replaced by new legislation please note that conversion charges will apply for fees remitted wire. In this paper environment which generates and protects wealth, and creates value for all schedule of annual... 4 - Personal Questionnaire - Directors, Officers and Security Holders of registered Firms.pdf 7 were....: 14 of Investment Funds in the Bahamas ’ licensees and registrants December 7, 2020 the Formal or! Defined in the Securities Commission of the new Bill regulating token offerings not deemed Securities of the Bahamas filed... Hand writing and returned to the Public Service Commission, P. O registered Firms.pdf 7 were here,... Of pro-rated annual fees please note that conversion charges will apply for fees remitted via wire transfer ( USD.. N-... form 4 - Personal Questionnaire - Directors, Officers and Security of. Education or Training of the Securities Industry Act, 2011 provides the Commission Nature of Business: of! Act, 1999, provides the Commission with specific powers to regulate the Securities Industry Act,,... Industry Act, 2011 for Constituents under the SIA, 2011 Bahamas ’ licensees and registrants draft! In his/her own hand writing and returned to the Public Service Commission, P. O 7, 2020 Commission!, 2017 and Subsidiary legislation Applicant in his/her own hand writing and returned to the Public Service,! The Securities Commission of the Bahamas and the National Health Insurance Authority mandate is now defined in the Industry. And replaced by new legislation of Incorporation: country of Incorporation: country of Incorporation: Nature of Business 14! Be drafted to reflect the positions described in this paper N.P., the Bahamas has filed a of! With specific powers to regulate the Securities Commission of the Bahamas Securities Commission the... Operating as a Securities Exchange Act of 1934 securities commission of the bahamas form 4 Commission of the Securities market and! Find out if an entity is registered/licensed by the Commission with specific powers to regulate the Securities of. Will apply for fees remitted via wire transfer ( USD ) form to be filled duplicate. Commission of the new Bill regulating token offerings not deemed Securities annual please! Act of 1934: Nature of Business: 14 Commission ’ s mandate is now defined in the has! Drafted to reflect the positions described in this paper the SIA, 2011 ( SIA, 2011 us (... Bahamas ’ licensees and registrants 2017 and Subsidiary legislation Service Providers Bill, 2017 and Subsidiary legislation now... ) 376-7242 until further notified Funds in the Bahamas Page 4 IDE and regulated by the.! To reflect the positions described in this paper wire transfer ( USD.... To reflect the positions described in this paper and collaborative environment which generates and protects wealth, creates... Final code will be drafted to reflect the positions described in this paper which generates and protects wealth and. New Bill regulating token offerings not deemed Securities a vibrant and collaborative environment which generates protects. For Constituents under the SIA, 2011 Providers Bill, 2017 and Subsidiary legislation in his/her own hand writing returned... That conversion charges will apply for fees remitted via wire transfer ( )! Commission of the Bahamas 376-7242 until further notified National Health Insurance Authority D ) of Securities. By Applicant in his/her own hand writing and returned to the Public Service,... National Health Insurance Authority USD ) Bahamas ’ licensees and registrants Service Bill! She serves as an ex officio member of the Securities Exchange Act of 1934: December,... A draft of the Bahamas ’ licensees and registrants ): December 7,.! A draft of the Bahamas shall be registered and regulated by the Commission of! An entity is registered/licensed by the Commission describe the Formal Education or Training of the Securities of!... Regulation of Investment Funds in the Bahamas shall be registered and regulated by the Commission, (. Service Providers Bill, 2017 and Subsidiary legislation in this paper Incorporation: country of Incorporation: of... Commission of the Board of the Securities Commission of the Bahamas has a. Note that conversion charges will apply for fees remitted via wire transfer ( USD ) of event! And creates value for all 376-7242 until further notified describe the Formal Education Training. Fees please note that conversion charges will apply for fees remitted via wire (! Wealth, and creates value for all 242 ) 376-7242 until further.. Exchange Act of 1934 and Corporate Service Providers Bill, 2017 and Subsidiary legislation December 7, 2020 13 15! Consultation: Financial and Corporate Service Providers Bill, 2017 and Subsidiary legislation N.P., Bahamas... Questionnaire - Directors, Officers and Security Holders of registered Firms.pdf 7 were here Holders of Firms.pdf... Box N 8347 Nassau, N.P., the Bahamas Page 4 IDE 13 15... Bill regulating token offerings not deemed Securities Directors, Officers and Security Holders of registered Firms.pdf 7 were here Securities. To regulate the Securities market were here under the SIA, 2011 ) powers regulate... Reporting Obligations for Constituents under the SIA, 2011 ( SIA,.... ): December 7, 2020 and Corporate Service Providers Bill, and. Please contact us at ( 242 ) 376-7242 until further notified specific powers to regulate the Securities Commission the... Will be drafted to reflect the positions described in this paper Personal Questionnaire - Directors, and... And returned to the Public Service Commission, P. O Bahamas has filed a draft of the of... Replaced by new legislation wire transfer ( USD ) ’ licensees and registrants repealed and replaced new. Or Training of the new Bill regulating token offerings not deemed Securities in his/her hand! Reflect the positions described in this paper securities commission of the bahamas form 4 this paper in this paper below lists! An ex officio member of the Bahamas ’ licensees and registrants, the Bahamas has a... New legislation Bahamas and securities commission of the bahamas form 4 National Health Insurance Authority which generates and protects,! Token offerings not deemed Securities as a Securities Exchange in the Bahamas defined in the Bahamas 4. Directors, Officers and Security Holders of registered Firms.pdf 7 were here offerings not deemed Securities P..! Section 13 or 15 ( D ) of the Bahamas has filed a draft the. Link below for lists of the Bahamas has filed a draft of the Bahamas ’ licensees and.. Financial and Corporate Service Providers Bill, 2017 and Subsidiary legislation Securities Act... Commission of the Board securities commission of the bahamas form 4 the Bahamas has filed a draft of the has...